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Dennis Joseph Wilk

CRD# 1646829·Registered 1987 - 1991
Previously Registered: Being a previously registered professional could mean that Dennis is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

Dennis Joseph Wilk was a registered financial advisor. Dennis was a previously registered financial professional and started their career in finance 1987 - 1991. Dennis had worked at 5 firms and has passed the Series 63, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

39 years in the financial services industry

Current & Past Employments

FIRST AMERICA EQUITIES CORP.·CRD# 7652
BD
April 12, 1990 - September 13, 1991
R.B. MARICH, INC.·CRD# 13227
BD
September 6, 1989 - March 6, 1990
PAN OCEANIC INVESTMENTS, INC.·CRD# 14798
BD
March 10, 1988 - September 6, 1989
STONERIDGE SECURITIES, INC.·CRD# 13855
BD
July 7, 1987 - February 25, 1988
AMERIPRISE FINANCIAL SERVICES, LLC·CRD# 6363
BD
March 25, 1987 - May 15, 1987

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Current Firm

FA
FIRST AMERICA EQUITIES CORP.

DARNALL, KEMNA & CO., INC. | FRASER, WILKS & DARNALL, INC. | FRASER, DARNALL & CO., INC. | FIRST AMERICA EQUITIES CORP.

CRD#: 7652 / SEC#: 8-22973
BD
Cancelled by FINRA on 09/13/1991

Contact Information

Established

California since 06/16/1978

Firm Type

Corporation

Fiscal Year End

June

Documents

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 1987About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Mar 1987About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Sep 1988About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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